SEC Form 4 · accession 0001209191-15-066662
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carolyn V Aver
Officer — Chief Financial Officer
Period of report
Aug 15, 2015
Accepted (ET)
Aug 18, 2015 · 5:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000851310
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 15, 2015 | M | 6,875 | $0.00 | A | 19,971 | D | |
| Common StockF2 | Aug 15, 2015 | F | 2,583 | $5.84 | D | 17,388 | D | |
| Common StockF3 | Aug 15, 2015 | M | 7,000 | $0.00 | A | 24,388 | D | |
| Common StockF2 | Aug 15, 2015 | F | 2,630 | $5.84 | D | 21,758 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units | $0.00 | Aug 15, 2015 | M | 6,875 | D | Feb 15, 2013 | Feb 15, 2016 | Common Stock | 6,875 | 6,875 | D |
| Restricted Stock Units | $0.00 | Aug 15, 2015 | M | 7,000 | D | Feb 15, 2015 | Feb 15, 2016 | Common Stock | 7,000 | 7,000 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2015. These restricted stock units were initially granted to the Reporting Person on 2/28/2012, and were identified on a Form 4 filed by the Reporting Person on 3/1/2012.
- F2Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
- F3These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2015. These restricted stock units were initially granted to the recipient on 3/14/2014, and were identified on a Form 4 filed 3/18/2014.